Senior Compliance Analyst for Investment Management

4 weeks ago

Toronto, Ontario, Canada Fidelity Investments Full time

Position Overview

*This role is a 6-month contractual engagement.

Company Background

Fidelity Investments has been a trusted partner for Canadian investors for over 35 years, providing a variety of investment portfolios and services. We are committed to innovation and continuously seek new methods to enhance our clients' financial journeys. As a privately held entity, we foster a culture of creativity and growth.

Joining our organization means becoming part of a diverse and dedicated team that positively impacts our clients and communities daily. We offer numerous opportunities for professional development in an inclusive environment where every individual is valued and supported to achieve their best potential.

Role Responsibilities

The Senior Investment Compliance Analyst plays a crucial role in delivering advisory services and assisting in the formulation of compliance standards associated with investment management operations at Fidelity Investments Canada.

Key Duties Include:

  • Supporting the Investment Compliance program at Fidelity Investments Canada.
  • Collaborating with Traders and investment team members to address routine and special inquiries.
  • Offering insights and guidance on rule interpretation and data analysis tailored to requesters' needs.
  • Identifying needs and prioritizing new initiatives while coordinating with internal service providers to meet compliance obligations.
  • Collecting and analyzing relevant trading data and compliance reports from proprietary trading systems.
  • Partnering with global compliance teams to ensure uniformity in reporting.
  • Reviewing, investigating, and potentially escalating trading exceptions on a daily basis.
  • Conducting independent testing and verification of investment guideline limits and rule methodologies for mutual funds and separate accounts.

Reporting and Oversight

  • Compiling summary reports on the compliance program and highlighting issues for regular updates, compliance certifications, and consultant inquiries.
  • Through oversight activities, providing compliance attestations and documenting any encountered issues. Preparing regular reporting materials for boards, senior management, and other stakeholders.
  • Responding to inquiries from external parties regarding internal processes and oversight programs.

Cross-Functional Collaboration

  • Working with cross-functional teams on ongoing fund lifecycle changes, providing compliance requirements and limits information.
  • Updating stakeholders as the regulatory landscape evolves concerning funds at various lifecycle stages.
  • Supporting other teams from an Investment Compliance perspective.
  • Collaborating with Asset Management Compliance and FIL Portfolio Monitoring teams to address questions on guideline interpretation, regulatory rules, fund setup, and security-level inquiries.

Regulatory Queries and Projects

  • Coordinating with various departments to gather data for responses to regulatory inquiries.
  • Staying informed about external industry and regulatory changes that may influence investment compliance decisions.
  • Assisting with ad hoc projects, ensuring timely and accurate completion of deliverables.

Qualifications

  • Minimum of 3 years of relevant compliance experience in the asset management sector.
  • Experience in compliance with a focus on investments within an asset management or mutual fund company.
  • A university degree in business administration, finance, economics, or a related field, or equivalent work experience.
  • Completion of the Canadian Securities Course or equivalent designation is essential.
  • Additional designations such as CFA, CPA, FRM, or other professional credentials are advantageous.

  • Senior Investment Manager

    7 days ago

    Toronto, Ontario, Canada MFS Investment Management Full time

    About the RoleMFS Investment Management is seeking a highly skilled and experienced professional to join our team as a Senior Investment Manager. This is a unique opportunity to work with a leading investment management company and contribute to the growth and success of our business.Key ResponsibilitiesDevelop and implement sales strategies to achieve sales...

  • Senior Compliance Analyst, Investment Management

    4 weeks ago

    Toronto, Ontario, Canada TAL Life LTD Full time

    Position Overview: As a Senior Compliance Analyst within the Global Compliance Program Office, you will play a pivotal role in fostering a culture of integrity and accountability at TAL Life LTD. Your contributions will be vital in establishing and implementing a globally consistent compliance framework. Key Responsibilities: Support the Senior Compliance...

  • Senior Compliance Analyst for Investment Management

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    Position Overview *This role is a 6-month contractual position. Company Background Fidelity Investments has been a cornerstone in aiding Canadian investors in achieving their financial aspirations for over 35 years. We provide a comprehensive array of trusted investment portfolios and services, continually innovating to enhance our client...

  • Senior Compliance Analyst for Investment Management

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    Position Overview *This is a 6-month contractual role Company Background Fidelity Investments has been a trusted partner for Canadian investors for over 35 years, providing a diverse array of investment portfolios and services. Our commitment to innovation drives us to continually enhance the ways we serve our clients. As a privately held firm,...

  • Investment Compliance Analyst

    4 weeks ago

    Toronto, Ontario, Canada CPP Investments Full time

    Company OverviewMake a significant impact at a leading global investment organization.At CPP Investments, you become part of one of the most esteemed and rapidly expanding institutional investors worldwide.With assets under management exceeding $500 billion, CPP Investments is a professional investment management entity that strategically invests the funds...

  • Senior Investment Manager

    2 weeks ago

    Toronto, Ontario, Canada MFS Investment Management Full time

    About the RoleMFS Investment Management is seeking a highly skilled and experienced professional to join our team as a Senior Investment Manager. This is a unique opportunity to work with a leading investment management company and contribute to the growth and success of our business.Key ResponsibilitiesDevelop and implement sales strategies to achieve sales...

  • Senior Data Management

    3 weeks ago

    Toronto, Ontario, Canada Brookfield Asset Management Full time

    About the Role Brookfield Asset Management is seeking a highly motivated and detail-oriented Senior Data Management & Compliance Analyst to join our growing Middle Office Investment Operations team. In this role, you will play a crucial part in ensuring data integrity across various systems, including compliance monitoring and reporting requirements for...

  • Senior Investment Analyst

    6 days ago

    Old Toronto, Ontario, Canada Canada Pension Plan Investment Board Full time

    Job SummaryWe are seeking a highly skilled Senior Investment Analyst to support the day-to-day management of investment operations functions in our Credit Investment Operations team. The successful candidate will be responsible for ensuring the accuracy of trade tickets and accounting entries, completeness of supporting documentation, and validation of...

  • Senior Investment Analyst

    6 days ago

    Old Toronto, Ontario, Canada Canada Pension Plan Investment Board Full time

    Job SummaryWe are seeking a highly skilled Senior Investment Analyst to support the day-to-day management of investment operations functions in our Credit Investment Operations team. The successful candidate will be responsible for ensuring the accuracy of trade tickets and accounting entries, completeness of supporting documentation, and validation of...

  • Quantitative Investment Analyst

    6 days ago

    Toronto, Ontario, Canada Hillsdale Investment Management Inc. Full time

    About the RoleHillsdale Investment Management Inc. is seeking a highly skilled Quantitative Analyst to join our Portfolio Management team. As a key member of our team, you will be responsible for developing and enhancing our existing stock selection models, researching and developing new factors and strategies, and providing routine support to Portfolio...

  • Quantitative Investment Analyst

    6 days ago

    Toronto, Ontario, Canada Hillsdale Investment Management Inc. Full time

    About the RoleHillsdale Investment Management Inc. is seeking a highly skilled Quantitative Analyst to join our Portfolio Management team. As a key member of our team, you will be responsible for developing and enhancing our existing stock selection models, researching and developing new factors and strategies, and providing routine support to Portfolio...

  • Senior Compliance Analyst – Investment Oversight

    4 weeks ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job OverviewIn the role of Analyst/Senior Analyst, you will report directly to the Director of Compliance Monitoring for Public Markets. Your primary focus will be on facilitating and enhancing essential investment oversight functions that ensure adherence to the CPPIB Act, relevant regulations, and internal policies, alongside other significant legislative...

  • Senior Compliance Analyst for Investments

    4 weeks ago

    Old Toronto, Ontario, Canada Fidelity Investments Full time

    Position OverviewThis role is structured as a contract position.Engage in a flexible hybrid work model as part of Fidelity's innovative working approach.Applicants must possess current work authorization for Canada.Company BackgroundFidelity has been a cornerstone in assisting Canadian investors in crafting improved financial futures for over 35 years. We...

  • Senior Investment Compliance Specialist

    3 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a highly skilled Senior Investment Compliance Analyst to join our team. As a key member of our compliance function, you will play a critical role in ensuring the integrity of our investment products and services.Key ResponsibilitiesDevelop and implement compliance policies and procedures to ensure adherence to...

  • Senior Investment Compliance Specialist

    3 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a highly skilled Senior Investment Compliance Analyst to join our team. As a key member of our compliance function, you will play a critical role in ensuring the integrity of our investment products and services.Key ResponsibilitiesDevelop and implement compliance policies and procedures to ensure adherence to...

  • Compliance Surveillance Analyst or Senior Analyst

    3 days ago

    Toronto, Ontario, Canada CPP Investments Full time

    About CPP InvestmentsCPP Investments is a global investment organization that manages a significant portion of the assets of the Canada Pension Plan. With a strong commitment to responsible investing, we aim to deliver superior returns while minimizing environmental, social, and governance (ESG) risks.Job SummaryWe are seeking a highly skilled Compliance...

  • Compliance Surveillance Analyst or Senior Analyst

    3 days ago

    Toronto, Ontario, Canada CPP Investments Full time

    About CPP InvestmentsCPP Investments is a global investment organization that manages a significant portion of the assets of the Canada Pension Plan. With a strong commitment to responsible investing, we aim to deliver superior returns while minimizing environmental, social, and governance (ESG) risks.Job SummaryWe are seeking a highly skilled Compliance...

  • Senior Sales Director, Institutional Investments

    7 days ago

    Old Toronto, Ontario, Canada MFS Investment Management Full time

    Job SummaryMFS Investment Management Canada is seeking a highly skilled and experienced Managing Director, Institutional Sales to join our team. As a key member of our sales and business development team, you will be responsible for developing and implementing sales strategies to drive growth and expansion in the Canadian market.Key ResponsibilitiesDevelop...

  • Senior Investment Compliance Specialist

    6 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a highly skilled Investment Compliance Analyst to join our team. As a key member of our compliance function, you will play a critical role in ensuring the integrity of our investment management activities.Key ResponsibilitiesProvide advisory services and support to our investment teams, ensuring compliance with...

  • Senior Investment Compliance Specialist

    7 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a highly skilled Investment Compliance Analyst to join our team. As a key member of our compliance function, you will play a critical role in ensuring the integrity of our investment management activities.Key ResponsibilitiesProvide advisory services and support to our investment teams, ensuring compliance with...